- Carry out compliance monitoring
- Carry out regular and ad-hocBAU compliance tasks as per allocation, including but not limited to:
- financial promotions review,
- AML, RFP and DDQ review,
- staff conflicts management,
- FCA returns,
- SMCR related tasks,
- restricted list maintenance,
- investment related Bloomberg AIM tasks)
- Assist with Compliance projects as required
Vacancy posted a month ago
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